FID Compliance Officer, Legal and Compliance at Morgan Stanley in Tokyo

Job description

Company Profile Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Department Profile Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses. Primary Responsibilities · Provide comprehensive compliance advisory coverage for the Firm’s Fixed Income businesses on applicable compliance policies and procedures and relevant laws, rules and regulations, with a focus on day-to-day businesses activities, including sales and trading, commodity business, non-performing loan/reorganization businesses and insurance brokerage businesses. · Partner with Private Side Compliance to provide compliance advice and guidance to capital markets professionals engaged in Fixed Income-related transactions, including private placements of debt instruments, derivatives and structured products. · Establish, communicate and maintain appropriate standards of conduct in accordance with applicable laws, regulations and Firm governing the relevant businesses. · Manage regulatory relationships and examinations, as well as internal investigations and audits, and escalate material or unresolved issues to senior Compliance management and relevant business management, as appropriate. · Develop and deliver regular compliance training for business unit professionals and supervisors. · Identify and assess compliance and regulatory risks within the coverage areas, recommend appropriate enhancements to the control environment, and support businesses 1LOD risk management framework. · Participate in review and approval of New Instruments and New Products relevant to the covered business. Keep abreast of regulatory developments, communicate relevant changes to affected business areas, and work with stakeholders to ensure that appropriate controls are in place. Qualifications Skills required (essential) · Substantial experience (typically 10+ years) in Fixed Income Compliance, Legal, Regulatory Affairs, or a related control function, preferably within a global financial institution; · Deep knowledge of Fixed income products and markets, including derivatives, structured products, financing transactions, and other non-flow businesses; · Strong understanding of applicable Japanese regulatory frameworks, including the Financial Instruments and Exchange Act, Commodity Derivatives Transaction Act, relevant derivative regulations, Money Lending Business Act, Insurance Business Act and related regulatory requirements; · Demonstrate ability to identify emerging regulatory, compliance, and conduct risks and to develop pragmatic, risk-based solutions in partnership with business stakeholders. · Strong leadership, stakeholder management, and influencing skills, with the ability to build credibility and foster effective partnership, and drive strategic in